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Version 3.3

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Current Topic:
Configure TriLine GRC for SMCR

© 2021 TriLine GRC. All Rights Reserved.

Configure TriLine GRC for SMCR

Page contents

Overview

Procedures

Overview

Note: SMCR is only available to clients in the UK.

About SMCR

The Senior Managers and Certification Regime (SMCR) is part of the FCA’s mandate to improve culture, governance and accountability within financial services firms. SMCR is not simply lodging forms as it requires substantive evidence and a culture that supports the regime. TriLine GRC provides the framework needed to implement and evidence good governance and help firms embed an effective GRC culture.

The SMCR module tracks the basic framework of SMCR in your organisation.

Enable the SMCR module

If the SMCR menu does not appear in you TriLine GRC system, please contact support to inquire how to add the SMCR module to your subscription license.

The SMCR menus will display for all Positions that have the correct security access. Initially this will be Positions in (Security) System Groups Administrators and Administrators - Accountability. Additionally, the Accountability tab will appear in the Security Centre. Administrators add Positions that are not required to hold a TriLine GRC Position, but are to be recorded as accountable, either via the Security Accountability tab, or via the Accountable People page.

Procedures

Note: Only Positions in (Security) System Groups Administrators and Administrators - Accountability can assess SMCR Maintenance menus items.

Accessing the ‘SMCR’ Maintenance menu items

From the main menu, mouse hover over the SMCR menu to see the Maintenance menu items.

The 'SMCR' Maintenance menu items
The ‘SMCR’ Maintenance menu items
  1. Click menu option Entities to create and manage the SMCR Entities.
  2. Click menu option Entities Types to create and manage the Entity Types.
  3. Click menu option SMF Groups to create and manage the Senior Management Groups.
  4. Click menu option Regulators to create and manage Regulators.
  5. Click menu option Repository to manage the SMCR Repository.
  6. Click menu option Configuration to manage the Accountability Sign Off Task defaults.
  7. Click menu option Certificate Status to manage the SMCR Certificate Status.
  8. Click menu option Submission Status to manage the SMCR Submission Status.
  9. Click menu option Submission Type to manage the SMCR Submission Type.

Creating and managing Entity Types

About Entity Types

This is the Entity Types defining the SMCR Entities.

Accessing the ‘SMCR Entity Types’ page

  1. From the Main Menu, select SMCR | Entity Types in the Maintenance menu items.

  2. The SMCR Entity Types page is displayed.

The ‘Entity Types’ page

This page lists all the SMCR Entity Types.

The 'SMCR Entities' page
The ‘SMCR Entities’ page
SMCR Entities' page elements
‘SMCR Entity Types’ page elements
ID Element Description
1 ‘New Entity Type’ icon Hover over the Options Menu icon to display the options. Click the New Entity Type.
2 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
3 List of SMCR Entity Types This List displays all Entity Types.
Click any record in the list to edit that SMCR Entity Type.

Note: Not all Entity Types may be displayed if a Filter 2 has been applied.
4 ‘Delete’ icon Click this icon to delete the SMCR Entity Type.

Note: An Entity Type without a ‘Delete’ icon displayed indicates that this Entity Type is currently being used.

Adding an Entity Type

  1. On the ‘SMCR Entity Types’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Entity Type’ 1 option.

  2. The ‘New Entity Type’ window is displayed. Enter an Entity Type name 1. Click the Save 2 icon to create the new Entity Type, or click Cancel 3.

  3. The new Entity Type is displayed in the Entity Type list.

‘New Entity’ window elements
‘New Entity Type’ window elements
ID Element Description
1 ‘Entity Type’ field Enter the Entity Type name in this field.
2 ‘Save’ icon Click this icon to add the new Entity Type.
3 ‘Close’ icon Click this icon to cancel adding the Entity Type and close this window.

Editing an Entity Type

  1. On the ‘SMCR Entity Types’ page, click on an Entity Type record 1 in the list.

  2. The ‘Edit Entity Type’ window is displayed. Edit the Entity Type name 1 as required. Click the Save 2 icon.

  3. The updated Entity Type is displayed in the Entity Type list.

Deleting an Entity Type

  1. On the ‘SMCR Entity Types’ page, click the ‘Delete’ 1 icon of an Entity Type.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: An Entity Type without a ‘Delete’ icon displayed indicates that this Entity Type is currently allocated and cannot be deleted.

Creating and managing SMCR Entities

About SMCR Entities

The Organisational Entities are legal entities within your firm that are applicable to SMCR.

The SMCR module allows for multiple legal entities for the purpose of reporting to the regulator.

Accessing the ‘SMCR Entities’ page

  1. From the Main Menu, select SMCR | Entities in the Maintenance menu items.

  2. The SMCR Entities page is displayed.

The ‘SMCR Entities’ page

This page lists the Entities within your firm that are applicable to SMCR.

The 'SMCR Entities' page
The ‘SMCR Entities’ page
SMCR Entities' page elements
‘SMCR Entities’ page elements
ID Element Description
1 ‘New Entity’ icon Hover over, or click, the Options Menu icon to display the options. Click the New Entity option.
2 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
3 List of SMCR Entities This List displays all Entities being tracked by your Organisation.
Click any record in the list to edit that SMCR Entitity.

Note: Not all Entities may be displayed if a Filter 2 has been applied.
4 ‘Delete’ icon Click this icon to delete the SMCR Entity.

Note: An Entity without a ‘Delete’ icon displayed indicates that this Entity is currently being used.
5 View ‘Entity Summary’ icon Click this icon to view the Summary of this Entity

Adding an Entity

  1. On the ‘SMCR Entities’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Entity’ icon 1.

  2. The ‘New Entity’ window is displayed. Enter or select values for field 1 through 5 as required. Click the Save 6 icon to create the new Entity, or click Cancel 7.

  3. The new Entity is displayed in the Entity list.

‘New Entity’ window elements
‘New Entity’ window elements
ID Element Description
1 ‘Legal Name’ field Enter the Entity’s Legal in this field.
2 ‘FRN’ field Enter the FRN in this field.
3 ‘Type’ field Select the Entity Type of this Entity.
4 ‘Subsidiary To’ field Select if this Entity is a Subsidiary to an existing Entity, or select the ‘Not a subsidiary’ option.
Note: The Entity Map option only shows if a Subsidiary exists.
5 ‘MRM Overview’ field If required, enter an overview of the Management Responsibility Map in this field.
6 ‘Save’ icon Click this icon to add the new Entity.
7 ‘Close’ icon Click this icon to cancel adding the Entity and close this window.

Editing an Entity

  1. On the ‘SMCR Entity’ page, click an Entity record 1 to edit it.

  2. The ‘Edit Entity’ window is displayed. Edit the fields 1 through 5 as required. Click the Save 6 icon.

  3. The updated Entity is displayed in the Entity list.

Deleting an Entity

  1. On the ‘SMCR Entity’ page, click the ‘Delete’ icon 1 of an Entity.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: An Entity without a ‘Delete’ icon displayed indicates that this Entity is currently allocated and cannot be deleted.

View Entity Summary

  1. On the ‘SMCR Entity’ page, click the view ‘Entity Summary’ 1 icon of an Entity.

  2. The Entity ‘Summary’ window is displayed. Scroll, filter and search through records as required. Click the Export 1 icon to export the records to a spreadsheet. Click the Close 2 icon to close the window.

Creating and managing Senior Management Groups

About SMF Groups

Groups allow SMF records to be logically related. SMF Groups is optional.

Accessing the ‘SMF Groups’ page

  1. From the Main Menu, select SMCR | SMF Groups in the Maintenance menu items.

  2. The ‘Senior Management Groups’ page is displayed.

‘Senior Management Groups’ page elements
‘Senior Management Groups’ page elements
ID Element Description
1 ‘New Group’ icon Click this icon to add a new Group.
2 ‘Reset grid’ icon Click this icon to reset the columns in the grid to a default state.
3 Page Navigation Panel Use the controls in this panel to move between List Pages and set the number of Records to display per-page.
4 Text Search Filter Enter some text to display only those Group’s list entries that match this text.
5 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
6 List of Groups This List displays all Senior Management Groups in your system.
Click any record in the list to edit that Group.

Note: Not all Groups may be displayed if a Text Filter 3 has been applied.
7 ‘Delete’ icon Click this icon to delete the Group.

Note: A Group Category without a ‘Delete’ icon displayed indicates that this Group is currently allocated and cannot be removed.

Adding a Group

  1. On the ‘Senior Management Group’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Group’ 1 icon.

  2. The ‘Add New Group’ window is displayed. Enter a new unique Group 1 and click the Save 2 icon.

  3. The new Group is displayed in the Group list.

‘Add New Group’ window elements
‘Add New Group’ window elements
ID Element Description
1 ‘Group’ field Enter a unique name for the Group in this field.
2 ‘Save’ icon Click this icon to add the new Group.
3 ‘Close’ icon Click this icon to cancel adding the Group and close this window.

Editing a Group

  1. On the ‘Senior Management Group’ page, click a Group 1 record.

  2. The ‘Edit Group’ window is displayed. Enter a new unique Group 1 name. Click the Save 2 icon.

  3. The updated Group is displayed in the Group list.

Deleting a Group

  1. On the ‘Senior Management Group’ page, click the ‘Delete’ 1 icon of a Group.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: A Group without a ‘Delete’ icon displayed indicates that this Group is currently allocated and cannot be deleted.

Creating and managing SMCR Regulators

About SMCR Regulators

This page lists the Regulators applicable to SMCR. Three default SMCR Regulators are provided.

Accessing the ‘SMCR Regulators’ page

  1. From the Main Menu, select SMCR | Regulators in the Maintenance menu items.

  2. The ‘SMCR Regulators’ page is displayed.

‘SMCR Regulators’ page elements
‘SMCR Regulators’ page elements
ID Element Description
1 ‘New Regulators’ icon Click this icon to add a new Regulators.
2 ‘Reset grid’ icon Click this icon to reset the columns in the grid to a default state.
3 Page Navigation Panel Use the controls in this panel to move between List Pages and set the number of Records to display per-page.
4 Text Search Filter Enter some text to display only those Group’s list entries that match this text.
5 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
6 List of Regulators This List displays all SMCR Regulators in your system.
Click any record in the list to edit that Regulator.

Note: Not all Regulators may be displayed if a Text Filter 4 has been applied.
7 ‘Delete’ icon Click this icon to delete the Regulators.

Note: A Regulator without a ‘Delete’ icon displayed indicates that this Regulator is currently allocated and cannot be removed.

Adding a Regulator

  1. On the ‘SMCR Regulators’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Regulator’ 1 icon.

  2. The ‘Add New Regulator’ window is displayed. Enter a new unique Regulator 1 value. Click the Save 2 icon.

  3. The new Regulator is displayed in the SMCR Regulators list.

‘Add New Regulator’ window elements
‘Add New Group’ window elements
ID Element Description
1 ‘Regulator’ field Enter a unique name for the Regulator in this field.
2 ‘Save’ icon Click this icon to add the new Regulator.
3 ‘Close’ icon Click this icon to cancel adding the Regulator and close this window.

Editing a Regulator

  1. On the ‘SMCR Regulators’ page, click a Regulator 1 record to edit that record.

  2. The ‘Edit Regulator’ window is displayed. Enter a new unique Regulator 1 name. Click the Save 2 icon.

  3. The updated Regulator is displayed in the SMCR Regulators list.

Deleting a Regulator

  1. On the ‘SMCR Regulators’ page, click the ‘Delete’ 1 icon of a Regulator.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: A Regulator without a ‘Delete’ icon displayed indicates that this Regulator is currently allocated and cannot be deleted.

Managing SMCR Repository

About SMCR Repository

The Repository is a predefined list of all SMF and Prescribed Responsibilities defined by the regulator. While individual SMF or Prescribed Responsibilities can be created if required, the Repository allows for a rapid selection of required items for each Entity. Extra items can be added from the list at any time.

Accessing the ‘SMCR Repository’ page

  1. From the Main Menu, select SMCR | Repository in the Maintenance menu items.

  2. The SMCR Repository page is displayed.

‘SMCR Repository’ page elements
‘SMCR Repository’ page elements
ID Element Description
1 ‘Page Help’ icon Click to see some basic instructions for working with the ‘SMCR Repository’ page.
2 ‘Entity’ selector Select the Entity for which SMCR records can be created.
3 Column Headers The column headers.
4 ‘SMCR Repository’ list The list displays available Senior Managers Functions and Prescribed Responsibilities that have not been selected for an Entity.
5 Record selector Select the records to create SMCR records.
6 Optional Group selector Optionally, select the Group to create with this SMCR record.
7 Optional Regulator selector Optionally, select the Regulator to create with this SMCR record.
8 Optional NED selector Optionally, select NED on to create with this SMCR record.
9 Optional Allocated selector Optionally, select the Allocated Position to create with this SMCR record.
10 Changeable From Date selector Optionally, select a different From date to create with this SMCR record with.
11 ‘Create SMCR records’ button Click this button to create SMCR records from the records selected in 5.
12 ‘Undo selections’ button Click the button to un-select all 5 selected records. This also undoes selections 6 through 10.

Create SMCR Records

  1. Access the ‘SMCR Repository’ page.

  2. The SMCR Repository page displays. Select the Entity 1. Select one or more Senior Managers Functions and Prescribed Responsibilities 2 records. Optionally select a Group 3, Regulator 4, NED 5, Allocated positions 6, and a different From 7 date. Click ‘Create SMCR records’ 8 button.

  3. Take note of the message that appears with any verifications you are recommended to complete.

  4. The selected records will be created into SMCR records, and will no longer appear in the list for this entity.

Undo selections

  1. Before the ‘Create SMCR records’ is clicked, click ‘Undo selections’ 1 button to remove selections on all records.

  2. All selections will be removed.

Managing SMCR Configuration - Accountability Sign Off Task defaults

Use Configuration option to setup the Task defaults for Accountability Sign Off.

  1. From the Main Menu, select SMCR | Configuration in the Maintenance menu items.

  2. The SMCR Configuration page is displayed. Enter the default Task instruction 2 text. Enter the default Task Outcome 3 question for a Yes/No selection. Enter the default Reminder Days 4 value. Optionally, enter a 2nd Reminder Days 5 value. Hover over, or click, the Options Menu icon to display the options. Click the ‘Save’ 1 icon.

  3. The updates are saved.

‘SMCR Configuration’ page elements
‘SMCR Configuration’ page elements
ID Element Description
1 ‘Save’ icon Click this icon to save updates to the Configuration.
2 ‘Task’ field Enter the task instruction text.
3 ‘Outcome’ field Enter the Outcome question text to the Yes/No Outcome selection.
4 ‘Reminder Days’ selector Select the number of Reminder Days to generate the task on.
5 ‘2nd Reminder Days’ selector Select the number of Reminder Days to send the second reminder notification. This must be less that Reminder Days.

Managing Certificate Status

About SMCR Certificate Status

This is the Certificate Statuses in TriLine GRC. The system allows for three (only) possible status values for Certificates.

When a Certificate is issued it will have the ‘Current’ status. When the time period for the Certificate ends it will automatically change to ‘Expired’ status (via the Monitor). A Certificate that is ended early (e.g. person resigns) will have the ‘Terminated’ status.

When a Certificate is created or modified there is the option to send the person an email notification. The ‘Email Text’ can be modified by the customer. The Colour is used in grids to easily identify the Status of the Certificate.

Accessing the ‘SMCR Certificate Status’ page

  1. From the Main Menu, select SMCR | Certificate Status in the Maintenance menu items.

  2. The SMCR Certificate Status page is displayed.

The ‘SMCR Certificate Status’ page

This page lists the Certificate Status in TriLine GRC.

The 'SMCR Certificate Status' page
The ‘SMCR Certificate Status’ page
SMCR ‘Certificate Status’ page elements
‘SMCR Certificate Status’ page elements
ID Element Description
1 ‘Page Help’ icon Click to see some basic instructions for working with the ‘SMCR Certificate Status’ page.
2 List of Certificate Status This List displays the Certificate Status.
Click any record in the list to edit that Certificate Status.

Note: The order and intent cannot be changed.

Editing a Certificate Status

  1. On the ‘SMCR Certificate Status’ page, click a Certificate Status record 1.

  2. The ‘Edit Status’ window is displayed. Edit the Status 1, Email Text 2 or Colour 3 as required and click the Save icon 4. Note: The words may be changed but the order and intent cannot be changed.

  3. The updated Certificate Status is displayed in the Certificate Status list.

Creating and managing SMCR Submission Status

About SMCR Submission Status

A Submission occurs when a form is sent to the regulator. The Submission Status allows for the tracking of the Submission. The default values are installed on your system. The customer may modify these values or add/delete as required.

The Colour is used in grids to easily identify the status of the Submission.

Accessing the ‘SMCR Submission Status’ page

  1. From the Main Menu, select SMCR | Submission Status in the Maintenance menu items.

  2. The SMCR Submission Status page is displayed.

The ‘SMCR Submission Status’ page

This page lists all the Submission Status within TriLine GRC.

The 'SMCR Submission Status' page
The ‘SMCR Submission Status’ page
SMCR Submission Status' page elements
‘SMCR Submission Status’ page elements
ID Element Description
1 ‘New Submission Status’ option Hover over the Options Menu icon to display the options. Click the New Submission Status.
2 ‘Export’ option Click this option to Export to a spreadsheet.
3 ‘Reset Grid’ option Click this option to reset the grid.
4 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
5 List of SMCR Submission Status This List displays all Submission Status.
Click any record in the list to edit that Status.

Note: Not all Submission Status may be displayed if a Filter 2 has been applied.
6 ‘Delete’ icon Click this icon to delete the SMCR Submission Status.

Note: A Submission Status without a ‘Delete’ icon displayed indicates that this Submission Status is currently being used.

Adding a Submission Status

  1. On the ‘SMCR Submission Status’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Submission Status’ icon 1.

  2. The ‘New Submission Status’ window is displayed. Enter a Status 1 and a Colour 2. Click the Save icon 3 to create the new Submission Status, or click Cancel 4.

  3. The new Submission Status is displayed in the Submission Status list.

‘New Submission Status’ window elements
‘New Submission Status’ window elements
ID Element Description
1 ‘Status’ field Enter the Submission Status in this field.
2 ‘Colour’ field Enter the colour to represent this Status, in this field.
3 ‘Save’ icon Click this icon to add the new Status.
4 ‘Close’ icon Click this icon to cancel adding the Status and close this window.

Editing a Submission Status

  1. On the ‘SMCR Submission Status’ page, click a Submission Status record 1.

  2. The ‘Edit Submission Status’ window is displayed. Edit the Status 1 or Colour 2 as required. Click the Save icon 3.

  3. The updated Submission Status is displayed in the Submission Status list.

Deleting a Submission Status

  1. On the ‘SMCR Submission Status’ page, click the ‘Delete’ icon 1 of a Status.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: A Status without a ‘Delete’ icon displayed indicates that this Status is currently allocated.

Creating and managing SMCR Submission Type

About SMCR Submission Type

Submission Types are initially meant to be the various forms required by the regulator, but it is designed to be flexible to allow for any future changes or requirements. By default, the list is populated with current list of forms.

The customer can change the Name and Description if required for their own internal reference. If a Type is not required it can be made ‘Inactive’ to stop it appearing in pick lists.

Accessing the ‘SMCR Submission Status’ page

  1. From the Main Menu, select SMCR | Submission Type in the Maintenance menu items.

  2. The SMCR Submission Type page is displayed.

The ‘SMCR Submission Type’ page

This page lists all the Submission Types within TriLine GRC.

The 'SMCR Submission Type' page
The ‘SMCR Submission Type’ page
SMCR Submission Type' page elements
‘SMCR Submission Type’ page elements
ID Element Description
1 ‘New Submission Type’ icon Hover over the Options Menu icon to display the options. Click the New Submission Type.
2 ‘Export’ option Click this option to Export to a spreadsheet.
3 ‘Reset Grid’ option Click this option to reset the grid.
4 Column Headers Use the controls in the column headers to filter the Records.
Perform advanced filtering of the List to find particular Records.
5 List of SMCR Submission Type This List displays all Submission Types.
Click any record in the list to edit that Type.

Note: Not all Submission Types may be displayed if a Filter 2 has been applied.
6 ‘Delete’ icon Click this icon to delete the SMCR Submission Type.

Note: A Submission Type without a ‘Delete’ icon displayed indicates that this Submission Type is currently being used.

Adding a Submission Type

  1. On the ‘SMCR Submission Type’ page, hover over, or click, the Options Menu icon to display the options. Click the ‘New Submission Type’ icon 1.

  2. The ‘New Submission Type’ window is displayed. Enter a Type 1, a Description 2, and a Status 3. Click the Save icon 4 to create the new Submission Type, or click Cancel 4.

  3. The new Submission Type is displayed in the Submission Type list.

‘New Submission Type’ window elements
‘New Submission Type’ window elements
ID Element Description
1 ‘Type’ field Enter the Submission Type in this field.
2 ‘Description’ field Enter the description of this Type, in this field.
3 ‘Status’ field Enter the Status of this Type, in this field.
4 ‘Save’ icon Click this icon to add the new Type.
5 ‘Close’ icon Click this icon to cancel adding the Type and close this window.

Editing a Submission Type

  1. On the ‘SMCR Submission Type’ page, click a Submission Type record 1.

  2. The ‘Edit Submission Type’ window is displayed. Edit the Type 1, description 2, or Status 3 as required. Click the Save icon 4.

  3. The updated Submission Type is displayed in the Submission Type list.

Deleting a Submission Type

  1. On the ‘SMCR Submission Type’ page, click the ‘Delete’ icon 1 of a Type.

  2. The ‘Confirm Delete’ dialog is displayed.

  3. In the ‘Confirm Delete’ dialog, either:

Note: A Type without a ‘Delete’ icon displayed indicates that this Type is currently allocated.

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